UK’S FINANCIAL CONDUCT AUTHORITY (FCA) COMPLIANCE
The UK’s Financial Conduct Authority (FCA) plays a pivotal role in regulating and supervising financial markets and firms. This advanced course dives deep into the intricate regulations, standards, and processes overseen by the FCA. Participants will not only acquire an understanding of the FCA’s structure and regulatory approach but will also delve into specific compliance challenges, processes, and the implications of non-compliance.
Course Objectives:
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Understand the history, evolution, and framework of the FCA.
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Analyze the core regulatory principles and how they shape financial practices.
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Evaluate the tools, techniques, and processes of FCA compliance.
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Examine the implications of non-compliance and how they affect firms and individuals.